SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Lu Yingjuan June

(Last) (First) (Middle)
C/O BEYONDSPRING INC., 100 CAMPUS DRIVE
WEST SIDE, 4TH FLOOR, SUITE 410

(Street)
FLORHAM PARK NJ 07932

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
12/31/2024
3. Issuer Name and Ticker or Trading Symbol
BeyondSpring Inc. [ BYSI ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Scientific Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Ordinary Shares 100 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Options (right to buy) (1) 10/18/2031 Ordinary Shares 10,000 $16.55(1) D
Stock Options (right to buy) (2) 01/11/2032 Ordinary Shares 2,003 $4.26(2) D
Stock Options (right to buy) (3) 09/01/2033 Ordinary Shares 5,000 $0.9(3) D
Stock Options (right to buy) (4) 03/01/2034 Ordinary Shares 19,180 $1.33(4) D
Stock Options (right to buy) (5) 04/01/2034 Ordinary Shares 50,000 $3.57(5) D
Explanation of Responses:
1. Reflects the grant of stock options to purchase ordinary shares of the Issuer under the 2017 Omnibus Incentive Plan. 7,500 of the stock options are fully vested and exercisable. 2,500 of the stock options will vest on October 18, 2025.
2. Reflects the grant of stock options to purchase ordinary shares of the Issuer under the 2017 Omnibus Incentive Plan. All 2,003 stock options are fully vested and exercisable.
3. Reflects the grant of stock options to purchase ordinary shares of the Issuer under the 2017 Omnibus Incentive Plan. 3,333 of the stock options are fully vested and exercisable. 1,667 of the stock options will vest on December 31, 2024.
4. Reflects the grant of stock options to purchase ordinary shares of the Issuer under the 2017 Omnibus Incentive Plan. 6,393 of the stock options are fully vested and exercisable. 6,393 of the stock options will vest on December 31, 2024, and 6,394 of the stock options will vest on June 30, 2025.
5. Reflects the grant of stock options to purchase ordinary shares of the Issuer under the 2017 Omnibus Inventive Plan. None of the stock options have become fully vested and exercisable. The stock options will vest in equal 25% installments on the first, second, third and fourth anniversaries of April 1, 2024.
Remarks:
As the Company no longer qualifies as a foreign private issuer, effective January 1, 2025, the Company's officers, directors, and principal shareholders are subject to Section 16 of the Securities Exchange Act of 1934 ("Exchange Act"). Previously, the Company determined that it qualified as a foreign private issuer under the Exchange Act.
/s/ Yingjuan June Lu 12/31/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.